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r I IV THIS AGREEMENT, made and entered into this 17'h day of June ,20 02 , by
and between the City of Santa Ana, a charter city and municipal corporation duly organized and
existing under the Constitution and laws of the State of California ("CITY") and Hispanic Business
Consultants ("CONTRACTOR").
Contract No. A2002-121
AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT
W-I-T-N-E-S-S-E-T-H
Recitals:
A. CITY has been designated a Local Workforce Investment Area (LWIA) under
the Workforce Investment Act of 1998, Public Law 105-220 ("the Act").
B. The State of California has created the LWIA to administer the Act programs
operated by the State of California pursuant to the Act.
C. As a LWIA, CITY is entitled to receive federal funds to establish programs to
prepare economically disadvantaged adults and youths for entry into the labor market and to provide
job training to those individuals who are economically disadvantaged or otherwise face serious barriers
in obtaining productive employment. One goal of California's Workforce Investment System is to
provide youth and adults with the opportunities to achieve career goals that will allow them to
successfully compete in the labor market and prepare them for higher education.
D. CONTRACTOR is experienced in operating education, trammg and
employment programs for economically disadvantaged individuals for entry into the labor market
("said program").
E.
California law.
CONTRACTOR is willing to operate said program pursuant to the Act and
WHEREFORE, for and in consideration of the respective and mutual covenants and
promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties
hereto do hereby agree as follows:
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I.
CONTRACTOR'S OBLIGATIONS
A. CONTRACTOR agrees to provide the following services pursuant to said
program, as more specifically set forth in CONTRACTOR'S program narrative contained in "Exhibit
A" and in the Statement of Work (Exhibit B), attached hereto and by this reference incorporated herein:
Bilingual Leadership and
Emplovee Development Program
Rapid Response
CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust
the level of payment to CONTRACTOR otherwise provided for hereinafter.
B. CONTRACTOR agrees to provide benefits to individuals who participate in the
activities and services funded by this Agreement ("participants") in accordance with the standards and
requirements set forth in Workforce Investment Act of 1998, Public Law 105-220.
C. CONTRACTOR agrees to perform the services set forth herein in a professional,
timely and diligent manner.
D. CONTRACTOR shall provide wages and benefits to individuals who participate
if the activities and services funded by this Agreement ("participants") in accordance with the
standards and requirements ofthe Act, including Section 181 of the Act.
E. CONTRACTOR shall adhere to the Labor Standards described in the Act
including Section 181 of the Act.
F.. CONTRACTOR agrees to comply with the "Complaint Handling Procedures under
the WIN', attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR
g667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under
the Act and the procedures for resolution of any complaints. CITY's procedures for handling
complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall
be followed and any decision of CITY, the State or the federal goverrnnent relating to the complaint
shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate
a grievance system that incorporates CITY's procedures for resolution of complaints relating to the
terms and conditions of employment; these procedures shall be approved in writing by CITY.
G. As a condition ofthis award of financial assistance under the Act to
CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or
activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry
out such programs or activities, that it will comply fully with the nondiscrimination and equal
opportunity provisions of the Act (Section 188); the Nontraditional Employment for Women Act of
1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 ofthe Rehabilitation Act of
1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities
Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing
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those laws, including, but not limited to, 29 CFR part 37. The United States, the State of California
and CITY have the right to seek judicial enforcement of this assurance.
H. CONTRACTOR agrees that no participant(s) shall commence training prior to the
approval offunding pursuant to Section 123 of the Act.
I. CONTRACTOR agrees to maintain such records and submit such reports, data and
information, on the form and containing such information, at such times as CITY may request or
require regarding the performance of CONTRACTOR'S services or activities, costs or other data,
including but not limited to, participants' attendance, payroll records and job duty statements.
CITY, the State of California and the United States govemment and/or their
representatives shall have access for purposes of monitoring, auditing and examinillg of
CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR
subcontractors, bookkeepers and accountants, and employees and participants related to this
Agreement. Such agencies or representatives shall also schedule on-site monitoring in their discretion.
Monitoring activities may also include, but are not limited to, questioning employees and participants
and entering any premises or onto any site in which any of the services or activities funded hereunder
are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be
construed to require access to any privileged or confidential information as set forth in federal or state
law.
In the event CONTRACTOR does not make the above-referenced documents available
within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable
expenses incurred by CITY in conducting any audit at the location where said records and books of
account are maintained.
All accounting records and evidence pertaining to all costs of CONTRACTOR and all
documents related to this Agreement shall be kept available at CONTRACTOR'S office or place of
business for the duration of this Agreement and thereafter for three (3) years after completion of an
audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising
out of the perfomlance of this Agreement, or (b) costs and expenses of this Agreement to which CITY,
the State of California or the United States Government take exception, shall be retained beyond the
three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions.
J. Without prejudice to any other section of this Agreement, CONTRACTOR
shall, where applicable, maintain the confidential nature of information provided to it concerning
participants in accordance with the requirements of federal and state law. Notwithstanding the
foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States
Government or their representatives, all records requested for administrative purposes, including
audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs
incurred and services rendered hereunder.
K. CONTRACTOR agrees to complete in triplicate, a monthly InvoiceN oucher on
CITY's InvoiceNoucher form, showing in detail the amount of money expended by CONTRACTOR
hereunder. CONTRACTOR agrees to submit the above-stated document to the wm Administrative
Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of
the month following the month in which CONTRACTOR'S services are performed. Should
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CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this
Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall
either return to the CITY excess revenues over costs or use such excess revenues as program income by
utilizing such program income for additional training activities authorized under the Act.
L. CONTRACTOR agrees to expend all funds in accordance with all applicable
federal, state and local laws and regulations. CONTRACTOR also agrees to provide at
CONTRACTOR'S own expense supplies and other costs of said PROGRAM.
M. CONTRACTOR shall arrange independently for an audit that includes WIA
funds received from CITY, in accordance with the Act and 20 CFR Section 667.200. CONTRACTOR
shall submit one original of each required audit report to CITY within (30) days after the date received
by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its
option withhold payment offunds, or disallow funds or suspend additional grant funds.
N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide
services to any participant where costs of training are paid for by any other person or entity.
O. CONTRACTOR shall comply with the provisions of Circular A-102 of the U.S.
Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local Government",
Subpart C, paragraphs 37 and 42, Circular A-128, and all other applicable federal statutes and
executive orders and their implementing regulations, including regulations at 29 CFR Part 97.
P. CONTRACTOR shall comply with the requirements of federal regulations
found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a
federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting
to influence an officer or employee of any agency, member of Congress or an officer or employee of a
member of Congress in connection with awarding of any federal contract, the making of any federal
grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or
modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign
a certification to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference
incorporated herein. CONTRACTOR shall submit said signed certification to CITY prior to
performing any of its obligations under this Agreement and prior to any obligation arising on the part
of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement.
Q. CONTRACTOR agrees to provide a drug-free work place and to execute a
certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference.
R. CONTRACTOR, in accordance with the Child Support Compliance Act,
recognizes and acknowledges the importance of child and family support obligations and shall fully
comply with all state and federal laws relating to child and family support enforcement, including, but
not limited to: disclosure of information and compliance with earnings assignment orders, as provided
in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to
the best of its knowledge is fully complying with the earnings assignment orders of all employees and
is providing the names of all new employees to the New Employee Registry maintained by the
California Employment Development Department (EDD).
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S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and
the federal regulations, including but not limited to the regulations found at 20 CFR part 629.
II.
CITY'S OBLIGATIONS
A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds
are received under the provisions of the Act a sum not to exceed Twentv Five Thousand and nollOO
Dollars ($ 25.000.00) for CONTRACTOR'S performance in accordance with the payment schedule
attached hereto as "Exhibit F" during the period of this Agreement. Said sum shall be paid after CITY
receives invoices submitted by CONTRACTOR as provided hereinabove.
B. CITY agrees to provide for on-site monitoring reviews of said program
operation at least twice annually. In addition, monthly desk-top reviews of pertinent information will
be conducted.
III.
TIME PERIOD OF AGREEMENT
This Agreement shall commence on Julv 1. 2002 and all duties arising under this
Agreement shall have been performed by June 30. 2003 . The term of this Agreement may be
extended by a writing executed by the Executive Director of the Community Development Agency and
the City Attorney.
IV.
INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor shall it be
construed to create an employer-employee relationship, a joint venture relationship, or to allow the City
to exercise discretion or control over the professional manner in which Consultant performs the
services which are the subject matter of this Agreement; however, the services to be provided by
Consultant shall be provided in a manner consistent with all applicable standards and regulations
governing such services. Consultant shall pay all salaries and wages, employer's social security taxes,
unemployment insurance and similar taxes relating to employees and shall be responsible for all
applicable withholding taxes.
V.
WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS
A. CONTRACTOR shall use appropriate funds received from CITY to provide
workers' compensation to all those hired by CONTRACTOR under this Agreement.
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B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees
or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard
does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any
other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer.
VI.
APPLICABLE GUIDELINES
A. The parties hereto agree that CONTRACTOR shall comply with all applicable
federal and state laws and regulations, including, but not limited to the Performance Standards and
general program requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516
and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and regulations,
including amendments or revisions made during the terms of this Agreement. Said applicable laws are
hereby incorporated by reference and made as part of this Agreement as though fully set forth herein.
B. CONTRACTOR also assures and certifies that:
I. CONTRACTOR shall comply with Title VII of the Civil Rights Act of
1964 (P.L. 83-354) and in accordance with Title VII of the Act, no person shall, on the grounds of race,
color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the
benefits of, or be otherwise subjected to discrimination under this Agreement.
2. CONTRACTOR shall comply with any and all federal laws limiting the
political activity of employees hired under this Agreement.
3. CONTRACTOR shall comply with the requirements that no program
under the Act shall involve political activities.
4. RECORD INSPECTION. CONTRACTOR shall provide the U.S.
Department of Labor and the Controller General, by and through any authorized representative, as well
as the WIB Administrative Office, access to and the right to examine all records, books, papers or
documents relating to the accounting and use of funds under this Agreement for a three-year period
from and after the effective date of this Agreement.
5. No person with responsibilities in the operation of any program under the
Act shall discriminate with respect to any program participant or any application for participation in
such program because of race, creed, color, national origin, sex, political affiliation or beliefs.
6. CONTRACTOR shall maintain appropriate standards for health and
safety in work and training situations.
7. CONTRACTOR shall comply with general provisions, assurances, and
certifications attached hereto as "Exhibit G" and incorporated herein.
8. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR
for the purpose of apprising businesses, participants, or the general public of its programs under this
Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana
Workforce Investment Board, and shall state that the program is an "equal opportunity
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employer/program" and that "auxiliary aids and services are available upon request to individuals with
disabilities. "
9. CONTRACTOR certifies that all property, finished or unfinished
documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of
in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the
CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this
Agreement, will be limited to use within the activities outlined in this agreement and will remain the
property of the United States Government and/or CITY. Upon termination of this Agreement,
CONTRACTOR will immediately return such tools and/or equipment to the CITY or dispose of them
in accordance with the direction of the CITY.
10. CONTRACTOR certifies that this Agreement does not provide
for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help
to support or sustain any school, college, university, hospital or other institution controlled by any
religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the
Constitution of the State of California, regarding separation of church and state.
II. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The
CONTRACTOR will disclose to the CITY any invention, written product, computer program
developed or data assembled as a result of performance of work under this Agreement within seventy
four (74) days of invention, development or assembly. The CITY, State of California, and U.S.
Department of Labor will have the right to patent any invention and copyright any written product or
computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will
transfer all pertinent information, specifications and right, title and interest to the designated agency.
12. INVENTIONS, PATENTS AND COPYRIGHTS.
A. Reoorting Procedure If any project produces patentable items, patent rights, processes, or
inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the
CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report
the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the
DOL and its representative on these matters, the DOL shall determine whether to seek protection on
the invention or discovery. The DOL and its representative shall determine how the rights
in the invention or discovery, including rights under any patent issued thereon, will be allocated and
administered in order to protect the public interest consistent with the "Governmental Patent Policy"
(President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971,
and Statement of Government Patent Policy as printed in 36 FR 16889).
B. CoovrightPolicv
1. Unless otherwise provided in the terms of the grant or agreement, when copyright-able
material is developed in the course of or under a DOL Grant or agreement, the author and the CITY
which developed the work is free to copyright material or to permit others to do so. The
CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty-free, nonexclusive
and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted
material.
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2. The DOL reserves a royalty-free, nonexclusive, and irrevocable license to reproduce,
publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The
copyright in any work developed under any grant, sub-grant, or contract under a grant or sub grant; (b)
Any right of copyright to which a grantee, sub grantee or a CONTRACTOR purchases ownership with
grant support; and (c) CONTRACTOR shall comply with the requirements of29 CFR Part 97.34.
C. Rights to Data The DOL and the CITY shall have unlimited rights to any data first procured
or delivered under this Agreement.
13. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds
$100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)];
Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental
Protection Agency ("EP A") regulations (40 CFR Part 15) as any may now exist or be hereafter
amended. Under these laws and regulations, the CONTRACTOR assures that:
(a) No facility to be utilized in the performance of the proposed grant has been listed
on the EPA List of Violating Facilities;
(b) It will notify CITY prior to award of the receipt of any communication from the
Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be
utilized for the grant is under consideration to be listed on the EP A List of
Violating Facilities;
(c) It will notify the CITY and the EP A about any known violation of the above laws
and regulations.
C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT:
1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in
order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This
Agreement will be administered in an impartial manner, free from errors to gain personal, financial
political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will
avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias,
special interest or desire for personal gain.
2. Employment of Former State or CITY Emplovees. CONTRACTOR will ensure that any of
its employees who were formerly employed by the State of Cali fomi a or CITY, in a position that could
have enabled such individuals to impact policy regarding or implementation of programs covered by
this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this
Agreement for a period of not less than two years following the termination of such employment.
3. Conducting Business Involving Relatives. No relative by blood, adoption or
marriage of any executive or employee of CONTRACTOR will receive favorable treatment when
considered for emollment in programs provided by, or employment with, CONTRACTOR.
4. Conducting Business Involving Close personal Friends and Associates.
Executives and employees of CONTRACTOR will be particularly aware ofthe varying degrees of
influence that can be exerted by personal friends and associates and, in administering this Agreement,
will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is
being granted to friends and associates. When it is in the public interest for CONTRACTOR to
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conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected
official in the area or a voting or non-voting member of the Workforce Investment Board (WIB), a
permanent record of the transaction will be retained.
5. Avoidance of Conflict of Economic Interest. No executive or employee of
CONTRACTOR elected official in the area, or voting or non-voting member of a WIB, will solicit or
accept money or any other consideration from a third person, for the performance of an act reimbursed
in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased
with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No
voting member of the WIB will cast a vote on the provision of services or vote on any matter which
would provide direct financial benefit to that member or any business or organization which the
member directly represents.
VII.
HOLD HARMLESS
A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents
and employees, from and against any and all damages to property or injuries to or death of any person
or persons, including property and employees or agents of CITY, and shall defend, indemnify and save
harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or
proceedings of any kind or nature, including, but not by way of limitation, workers' compensation
claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its
employees or subcontractors.
B. CONTRACTOR shall indemnifY and save harmless CITY, its officers, agents
and employees, from and against any and all damages to property or injuries to or death of any person
or persons, including property and employees or agents of CITY, and shall defend, indemnify and save
harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits,
actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of
CONTRACTOR, its employees or subcontractors.
VIII.
INSURANCE
1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force
during the term of this Agreement a policy of comprehensive commercial public liability insurance
insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or
death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not
less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in
any single accident or occurrence. Said policy of comprehensive public liability insurance shall be
endorsed to provide to CITY and to the State of California, Employment Development Department, at
least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees,
and volunteers, and the State of California, its officers, employees, and volunteers as additional
insureds; and state that such coverage is primary to any other coverage or self-insurance of the State of
California and CITY. Governmental entities may substitute a certificate of self-insurance.
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2. Automobile Liabilitv Coverage. CONTRACTOR shall also obtain and maintain,
during the effective period of this Agreement, broad form automobile liability coverage with a
$1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non-owned
automobiles used by CONTRACTOR employees or participants in performance ofthis Agreement, or,
in the event that CITY will not utilize such owned/leased automobiles but intends to require
employees, participants or other agents to utilize their own automobiles in the performance ofthis
Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants, or
agents as self-certification of automobile insurance coverage. Governmental entities may substitute a
certificate of self-insurance.
3. Workers' Compensation. If CONTRACTOR is an "employer", as set forth in
California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in
California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the
term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by
participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of
cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those
participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to
California Labor Code Section 3350, et seq.
4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of
insurance covering loss or damage to any and all Equipment provided to or purchased by
CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full
replacement value thereof, providing protection against the classification of fire, extended coverage,
vandalism, malicious mischief, theft, and special extended perils. Governmental entities may
substitute a certificate of self-insurance.
5. Proof of Insurance. Certificates and endorsements must be submitted and approved by
CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no
payments under this Agreement until the required certificates and endorsements have been approved by
CITY. (Exhibit H)
IX.
CORPORATE STATUS
All corporate CONTRACTORS shall be in good standing, without suspension by the
California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in
corporate status or suspension shall be reported immediately to CITY.
X.
ASSIGNABILITY
None of the duties of, or work to be performed by, CONTRACTOR under this Agreement
shall be subcontracted or assigned to any agency, consultant, or person without the prior written
consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to
this Agreement to CITY. No subcontract or assigrunent shall terminate or alter the legal obligations of
CONTRACTOR pursuant to this Agreement.
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XI.
LAWS GOVERNING THIS AGREEMENT
In its performance under this Agreement, CONTRACTOR shall funy comply with the
requirements of the following, whether or not otherwise referred to in this Agreement:
I. The Act and an applicable federal statutes, regulations, policies, procedures and directives,
including but not limited to, 20 C.F.R. Parts 652 and 660 through 671.
2. An applicable State statutes, regulations, policies, procedures and directives;
3. An applicable CITY policies, procedures and directives;
4. An applicable local ordinances and requirements, including use permits and licensing;
5. Court orders applicable to its operation; and,
6. The terms and conditions of this Agreement.
If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with
such or will notify CITY after enactment or modification that it cannot so comply. CITY may
thereupon terminate this Agreement, if necessary.
XII.
EXCLUSIVITY AND AMENDMENT OF AGREEMENT
This Agreement supersedes any and an other agreements, either oral or in writing,
between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains
an the covenants and agreements between the parties with respect to such employment. Each party to
this Agreement acknowledges that no representations, inducements, promises or agreements, orally or
otherwise, have been made by any party, or anyone acting on behalf of any party, which are not
embodied herein, and that no other agreement or amendment hereto shall be effective unless executed
in writing and signed by both CITY and CONTRACTOR.
XIII.
FRAUD
CONTRACTOR shall immediately report to CITY all instances and facts concerning
possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this
Agreement.
XIV.
CONTINGENCY OF FUNDS
CONTRACTOR acknowledges that approval of and funding for this Agreement is
contingent upon State approval, and funds received or obligated from the State of California to CITY.
If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify
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CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or
cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or
reimbursement of costs incurred hereunder.
XV.
TERMINATION
This Agreement may be terminated by either party at its sole discretion, upon thirty (30)
days written notice to the other party. Notice shall be deemed served on the date of mailing. However,
CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant.
XVI.
DISPUTES
Except as otherwise provided in this Agreement, any dispute concerning any question
arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision
to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City
shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of
such copy, CITY receives from CONTRACTOR written request to appeal said decision.
Procedures governing the appeal shall be prescribed by CITY and/or the State of
California in accordance with the Act and all corresponding regulations and OMB circulars. Pending
final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless
the dispute involves a change order.
XVII.
BREACH - SANCTIONS
If, through any cause, CONTRACTOR violates any of the terms and conditions of this
Agreement, and/or prior agreements whereby grant funds were received by CONTRACTOR pursuant
to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes
disallowances, CONTRACTOR shall promptly remedy its acts or omissions and/or repay CITY all
amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations,
CITY shall also have the right at its sole discretion to either: (1) discontinue program support until
such time as CONTRACTOR fulfills its obligations or remedies all violations of this agreement or
prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by
offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice
CONTRACTOR has failed to repay same or a repayment schedule has not been made; and/or (3)
terminate this Agreement by giving written notice to CONTRACTOR of such termination in
accordance the notice provision in Paragraph XVIII herein below.
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XVIII.
NOTICES
AH notices, reports and correspondence between the parties hereto respecting this
Agreement shaH be in writing and deposited in the United States Mail, postage prepaid, addressed as
foHows:
CITY:
City of Santa Ana
Manager, WIB Administrative Office
1000 Santa Ana Blvd., Suite 200
Santa Ana, CA 92701
Telefacsimile (714) 565-2602
and,
CLERK:
Clerk ofthe City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Telefacsimi1e (714) 647-6956
CONTRACTOR:
Hispanic Business Consultants
2510 N. Grand Ave., Suite 106
Santa Ana, CA 92705
(714) 516-1111
Telefacsimile (714) 516-1114
XIX.
MERGER
This Agreement, together with the attachments hereto, expresses the total understanding
of the parties. There are no oral understandings of the parties or terms and conditions other than as
stated herein.
xx.
VALIDITY
The invalidity in whole or in part of any provision of this Agreement shall not void or
affect the validity of any other provision of this Agreement.
XXI.
MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the power,
authority and right to bind their respective parties to each of the terms ofthis Agreement, and shaH
Page 13 of 14
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indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY
in the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in
the body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above-written.
ATTEST:
CITY OF SANTA ANA, a municipal
corporation of the State of Cali fomi a
"CITY"
Patricia E. Healy
Clerk of the Council
By:
Qtfa
David N. Ream
City Manager
APPROVED AS TO FORM:
Joseph W. Fletcher
City Attorney
Hispanic Business Consultants
BY: ~ - (. tJ.I~
Lisa E. Storck
Assistant City Attorney
BY:
y. ~.~~"-'
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Eduardo 19ueroa, Owner
Tax ill #:
RECOMMENDED FOR APPROVAL:
P. Reekstin, Executive Director
munity Development Agency
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EXHIBIT A
Hispanic Business Consultants
Corporate Training & Entrepreneurial Seminars
The Vision of HISPANIC BUSINESS CONSULTANTS:
"To educate and help Latinos in Orange County to reach the American
Dream through self-employment by creating their own business"
INTRODUCTION
The following action plan is being suggested by Hispanic Business
Consultants (HBC) to provide special services consisting of entrepreneurial
training in Spanish to teach laid-off or dislocated workers and the Latino
community in general how to become self-employed by starting a business.
OBJECTIVE
The purpose of this program is to fulfill a need that is clearly evident in the
City of Santa Ana, where there is a lack of training providers for low-income
special population groups and those with substantial language and cultural
barriers. Research has shown that currently unemployed members of the
Hispanic community would like to start up their own businesses and create
jobs for themselves, their families and others; they also want to generate
more income to improve their lifestyles. Our goal at HBC is to help these
Latinos achieve the "American Dream" through the use of our own original
material, knowledge, experience and programs, which have already proven
their worth in this market.
ACTION PLAN
With funds.granted by the Santa Ana W/O/R/K Center, HBC will provide
three 3-hour.core seminars designed to serve 120 participants and one 21-
hour course for 25 participants - a total of 145 customers - to those seeking a
career transition by starting up their own businesses through the Center.
In addition to this, HBC will also provide an extra 3-hour core seminar to
serve 40 participants more. The cost of this seminar will be covered by
matching dollars from other sponsors or will be sponsored entirely by HBC.
Our goal is to educate a total of 185 Spanish-speaking participants under this
program.
DESCRIPTION OF SERVICES TO BE PROVIDED
HBC will provide 3-hour core seminars, a comprehensive 21-hour program
and ongoing mentoring support to help participants succeed in the business
Hispanic Business Consultants (800) 642-1422
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Hispanic Business Consultants
Corporate Training & Entrepreneurial Seminars
world. All seminars can be taught at the Santa Ana W/O/R/K Center or in a
local facility designated by the Center.
3-Hr. Core Seminars: The two core seminars are How to start a business
(which covers the fundamentals of starting a business, general information
and start-up planning that the participant can use immediately) and Self-
esteem & motivation. Our goal is to assist 40 participants per seminar.
See attached descriptions of the core seminars in Spanish.
21-Hr. Course: Creando Tu Negocio Exitoso I (CTNE I) "Creating Your
Successful Business J"
The second format consists of a comprehensive 2I-hour course (divided
into 7 sessions of 3 hours each) covering the particulars of how to start up a
business from A to Z; it will serve 25 participants committed to developing a
feasibility plan to start up their businesses. This is a hands-on program that
encourages the participants to complete a feasibility study or business plan.
The course contents consist of topics such as an introduction to
entrepreneurial life, the entrepreneur and the company, the idea and the
feasibility plan, market research analysis, accounting controls, understanding
financial statements, business financing options and other subjects related to
creating a successful business model. The participants in this course receive
free of charge one-on-one coaching and business consulting during and after
the classes. All the students in the comprehensive 21-hour course will
receive the start-up kit "Creando Tu Negocio Exitoso" or CTNE (Creating
Your Successful Business). This kit consists of six cassettes, a workbook, a
business plan book, a computer diskette with a cash flow projection, and a
30-minute educational video. The cassette package comprises a
comprehensive program covering the above themes, as well as additional
topics such as business licenses, legal structures and causes of business
failure. The_participants in this program who successfully complete a
feasibility study or business plan will receive a certificate of completion
upon presentation of their project.
See curriculum of comprehensive 21-hour course and information on the
sta rt-u p kit
RECRUITMENT AND MARKETING
HBC will recruit students for this program in two ways: through the
enrollment of participants referred by the Santa Ana W/O/R/K Center and
through the implementation of a marketing campaign to target the Latino
population. All the material designed and all advertising will mention and/or
include the logo of the Santa Ana W/O/R/K Center and the City of Santa
Ana. The marketing campaign will include the following:
Hispanic Business Consultants (800) 642-1422
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Hispanic Business Consultants
Corporate Training & Entrepreneurial Seminars
Sending "community announcements (PSA) " by fax and e-mail to:
.:. Newspapers .:. Magazines
.:. Television .:. Organizations
.:. Radio .:. Companies
Sending flyers by mail to:
.:. Affiliated businesses
.:. Organizations and associations
.:. New businesses in DBA
.:. Members, clients, prospects
.:. Hispanic magazines
Walk-in campaign to distribute flyers /0:
.:. Latino organizations
.:. Libraries
.:. Businesses
.:. Apartments
.:. Churches
.:. Banks
.:. Chambers of Commerce
.:. Schools, PT As
.:. Business license offices
.:. Fairs and exhibitions
.:. Consulates
Paid advertising in:
.:. Local weekly newspapers
.:. "Clasificado" Bulletin
.:. "Para Todos" Magazine
.:. Churches' newsletters
A database on all the incoming calls generated by the marketing campaign will
be furnished. All the callers will receive by mail the calendar of seminars,
along with a flyer describing the current seminar and an application form to
request a scholarship for the 21-hr. course CTNE 1.
SCHEDULE AND LOCATIONS OF THE FOUR SEMINARS AND THE
COURSE
All seminars can be taught at the Santa Ana W IO/R/K Center or in a local
facility designated by the Center.
Following is a tentative schedule including dates and times.
SEMIN AR DATE # SESSIONS PARTICIPANTS TIME
. (GOAL)
Business Start-UP August 1,2002 I 40 6 - 9 PM
Sel f.Esteem August 2S, 2002 I 40 6 - 9 PM
Sel f-Esteem October 15, 2002 1 40 6.9 PM
Business Start-UP January 23,2003 I 40 6 - 9 PM
COURSE DATE # SESSIONS PARTICIPANTS TIME
(GOAL)
CTNE I · October 29, 2002 7 25 6 - 9:30 PM
. CTNE I: Creando TlI Negocio ExilOSO I "Creating Your Successful Business 1"
Hispanic Business Consultants (SOO) 642-1422
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Hispanic Business Consultants
Corporate Training & Entrepreneurial Seminars
DELIVERY OF SERVICES
Eduardo Figueroa, Program Director and Instructor, will be conducting the
seminars and the CTNE I course. Mr. Figueroa has eight years of experience
providing workshops, seminars and entrepreneurial courses to more than 4,700
participants and individual consultations to over 2,120 additional clients. He
has been teaching and helping Latinos to become entrepreneurs using his
programs, seminars, courses and material through other organizations in
Southern California such as: Inland Empire Small Business Development
Center, Orange County Small Business Development Center, Santa Ana
College, University of Southern California, West Los Angeles Minority
Business Development Center, both the Ontario and Santa Ana Hispanic
Chambers of Commerce, Orange County Business Council and other private and:
public organizations. He developed the start up kit Creando Tu Negocio
Exitoso, the seven-session course and 10 different 3-hr. seminars in Spanish.
Eduardo Figueroa also provides corporate training to managers, supervisors,
sales people and employees. The Small Business Administration honored him
with the "Minority Small Business Advocate of 1997" Award. LULAC (League
of United Latin American Citizens) also gave him a special recognition for his
"outstanding contribution" to the Hispanic business community in Southern
California. On June 1999, the Hispanic Chamber of Commerce of Orange
County nominated him as the recipient of the "Ethics in America Award" by the
Passkeys Foundation and Chapman University. Eduardo Figueroa is currently
presenting the same CTNE I course at the West LA MBDC / USC.
INTERNAL SYSTEMS TO MEET CONTRACTUAL OBLlGA nONS
In order to facilitate the monitoring of results of the economic impact of this
program, HBC has developed a system to create a data collection to track the
progress of the participants. Information to bc collected will include who
becomes self-employed, the number of jobs created and jobs retained, and the
increase in sales and profits, as well as the improvement in employees' jobs. If
necessary, we will provide a copy of the forms created.
This activity will allow us to furnish a database on all the attendees and will be
updated on a regular basis each time we make contact with the participants. For
instance, a "customer profile" questionnaire will be administered to the
students attending the 21-hr. CTNE course. The data collected will include the
"employment status" of the participant, helping us to determine if the person is
employed, unemployed or self-employed (business owner).
Additionally, we will conduct one-on-one counseling sessions for the graduated
students of the CTNE course to help them to start their own business by
answering questions related to their feasibility plan, brainstorming about
marketing plans, and in general, encouraging them to start generating self-
employment and the creation of additional jobs.
Hispanic Business Consultants (800) 642.1422
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Hispanic Business Consultants
Corporate Training & Entrepreneurial Seminars
For the 21-hr. CTNE course, a pre-screening process to select the participants
of the course will be established to make sure that the majority of attendees
will actually complete the course and their project of creating a business or
feasibility plan. The following facts will be taken into consideration:
Prospects to participate in the course will fill out an application form,
providing general information on the kind of business they would like to start-
up, if they have previous experience as business owners or at least basic
knowledge of the type of business chosen, their intended source of funds to
start up the business, as well as why they feel we should consider them to
receive a scholarship, etc.
A pre-screening form to evaluate the applicants will be completed by the
administrator of the program, grading the answers from each applicant.
Next, an interview by phone to gather additional information will be conducted,
including questions such as their employment status (Le., currently employed,
unemployed or dislocated worker, business owner, part- time worker, etc.)
After the interviews by phone, scholarships to attend the course will be
awarded to the people who, according to our rating criteria, are the most
suitable to attend and complete the course and their projects.
A notification by mail will be sent, along with a map of the site for the course
and directions.
All the attendees on each core seminar and CTNE course will receive a
document of participation.
Phone interviews to verify the progress of each participant will be initiated.
The results will be logged in to the tracking system.
A survey by mail will follow for both the core seminar attendees and the course
graduates upon completion of their program.
All the original forms and records will be filed and available for reviewing by
the Santa Ana WlOfRfK Center when necessary. Additionally, HBC will
document the number of jobs created and jobs retained, the increases in sales
and profits, and the awarding of financing. The frequency of reporting work
progress on the results of the seminars will be at a 90 and l80-day follow-up.
The information will be recorded by HBC and shared with the Santa Ana
WfO/RfK Center.
Furthermore, and in order to increase the effectiveness of this program, HBC is
pursuing funds to hire a Case Advocate to help these potential entrepreneurs
deal with filing government paperwork and to walk them through the process of
Hispanic Business Consultants (800) 642-1422
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Hispanic Business Consultants
Corporate Training & Entrepreneurial Seminars
setting up a simple administrative system. This person would be part of our
staff and the communication channel with the participants.
In compliance with the terms and obligations established by this contractor, a
final report on the performance of the program wi\1 be created before the end of
the term of this contract.
BUDGET
A new budget for the funds granted is attached.
LIABILITY INSURANCE
HBC will include the City of Santa Ana and the Santa Ana W/O/R/K/ Center in
the liability insurance that HBC has to meet the contract requirement.
If any further information is required or if you have additional questions,
please contact me at (714) 516-1111 or bye-mail athbcnew@ao1.com.
Sincerely,
Eduardo Figueroa
Program Director and Instructor
Hispanic Business Consultanls (800) 642-1422
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Hispanic Business Consultants
Corporate Training & Entrepreneurial Seminars
"CREANDO TV NEGOCIO EXITOSO 1"
(Creating Your Successful Business 1)
CURRICULUM OF 21-HR COURSE IN SPANISH
(3-Hr session each week)
Session 1 Introduction to Program, Motivation and How to Determine the
Appropriate Type of Business to Start
o Icebreaker session
o Why do people start up a business?
o The dream
o Exercises to determine business type
Session 2 The Entrepreneur and the Company
o Technician, manager, entrepreneur and inventor
o Characteristics of a successful entrepreneur
o What is a business?
Session 3 The Idea and the Feasibility Plan
o Why the idea makes sense
o Features and benefits, uniqueness
o What is a feasibility plan?
Session 4 Market Research and Analysis
o Market research techniques
o The competition: direct and indirect
o Pricing
Session 5 Marketing Plan
o Importance of marketing
o Advertising and promotions
o Sales and public relations
o Customer services
Session 6 Management
o Accounting: control
o Financial statements: how to read them
o Cash flow: capital needs
o Break-even analysis
Session 7 Financing
o Financing options: traditional and non-traditional
o How to prepare yourself to ask for financing
o Graduation
Hispanic Business Consultants (800) 642-1422
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Hispanic Business Consultants
Corporate Training & Entrepreneurial Seminars
"CREANDO TV NEGOCIO EXITOSO"
(Creating Your Successful Business)
DO YOU DREAM ABOUT STARTING YOUR OWN
BUSINESS?
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Anyone can start a business; but only those with
passion and the right information will succeed.
While a vast quantity of business-related information
and start-up programs exists in English, there is a
huge void in the Latino entrepreneurial marketplace. A
need rema ins to teach our Spanish-speaking
community members how to start up their own small
businesses, expand them and turn them into profitable
and ongoing streams of income and new jobs, This is the right moment to tap into the
Latino market, which is growing rapidly and needs all the help we can give. If you need a
tool in Spanish to help your Spanish-speaking clients, Hispanic Business Consultants
(HBC) has the perfect sol uti on.
We are introducing a start-up kit in Spanish, "CREANDO TV NEGOCIO EXITOSO"
(Creating Your Successful Business), a unique program launched in September 1999 by
Southern California business consultant and trainer Eduardo Figueroa. It consists of six
cassettes (4 y, hours), a workbook, a computer diskette and a 3D-minute video, all
packaged in a professional. looking plastic album. The video features interviews with
successful Latino entrepreneurs conducted by Amelia Machiavello, a well-known TV
reporter in Southern California.
The six cassettes comprise a comprehensive program that teaches people how to build a
successful business step by step, to be used in combination with the workbook and the
diskette. Some of the subjects discussed include:
~ How to decide what type of business to start
~ Characteristics of successful entrepreneurs
~ Causes of business failure
~ The business plan
~ How to determine the amount of money you need to start up your business
~ Financial sources and how to prepare yourself to ask for a loan
~ Permits and licenses
~ And morc..
This start-up kit "CREANDO TV NEGOCIO EXITOSO" (Creating Your Successful
Business), has been chosen by the University of Southern California (USC) as the primary
teaching material for its new 7-week course for entrepreneurs in Spanish.
We invite you to visit our web page at www.eduardofigueroa.com to learn more about our
services and products and our company, Hispanic Business Consultants.
Hispanic Business Consultants (800) 642-1422
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EXHIBIT B
STATEMENT OF WORK
I. Scope of Work. City hereby engages contractor as an independent contractor to
perform the following described work, and contractor hereby agrees to perform said
work upon the terms and conditions here-in-after set forth.
A. Specifically, contractor shall perform the following services:
1. Contractor will provide seminars and mentoring support for eligible Rapid
Response participants. Such seminars shall occur in accordance with the
training schedule and curriculum attached hereto as the program narrative
(Exhibit A). Neither the seminar schedule nor curriculum may be altered in
any way during the term of this agreement, without prior written approval
given to contractor by City.
2. Full completion of the seminar/training program shall be defined as and
determined by individual participant attainment of the learning objectives and
demonstrated achievement of the standards for evaluation listed in the
training curriculum verified and approved by the City.
3. Contractor will utilize instructional material at reading and mathematics levels
no higher than those levels required for entry into those fields for which
training is being offered.
4. Contractor will provide each participant who attains full or early completion of
the seminar training program with a certificate of completion. Such certificate
shall serve as contractor's assurance to the City that the recipient of said
certificate has satisfied the conditions of full completion as set forth in
conditions identified in paragraph 2 above.
5. Contractor will adequately review and explain the civil rights and complaint
handling procedures and provide a signed copy of said procedural letter in the
participant's file.
6. Contractor will provide an enrollment orientation for each participant which at
the minimum includes the following information:
a) Program goals and objectives
b) length of training period
c) civil rights and complaint handling procedures
d) anticipated completion date
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Participant orientation shall be documented and placed in participant's file.
7. Contractor will maintain attendance records for all participants.
8. Contractor shall, upon request by City or in accordance with schedules
and/or procedures stipulated by City staff at the outset of the
seminar/training program, transmit to City reports and/or forms containing
all appropriate data and any other pertinent information available on each
participant and program operations in general.
9. Contractor will follow and abide by the proposal submitted and approved
by the Santa Ana Workforce Investment Board. Any changes to the
proposal must be submitted in writing to the CITY for consideration.
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Exhibit C
COMPLAINT HANDLING
UNDER THE
WORKFORCE INVESTMENT ACT
SANTA ANA
WIA
Santa Ana Local Workforce Investment Area
July 1, 2001
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Table of Contents
I. Information Regarding Complaints............................................................................................ 2
A. Nondiscrimination and Equal Opportunity Complaints .......................................................... 2
1. Policy Statement ................................................................................................................2
2. Civil Rights......................................................................................................................... 3
3. Nondiscrimination Laws under WIA ........................................................................:..........4
4. How to File Your Complaint ............................................................................................... 5
B. Criminal Complaints ..............................................................................................................6
II. General Procedures for Handling Non-Criminal Violations of the Act ....................................... 6
III. Procedures for Handling Complaints at the SDA Level............................................................. 8
IV. Procedures for Handling Complaints at the State Level.......................................................... 13
V. Procedures for Handling Discrimination Complaints by Participants....................................... 15
VI. Procedures for Handling Handicap Complaints by Participants .............................................. 16
GLOSSARY OF WIA TERMS ........................................................................................................ 18
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I. Information Regarding Complaints
A. Nondiscrimination and Equal Opportunity Complaints
1. Policy Statement
In carrying out the purpose of the Workforce Investment Act (WIA), the City of
Santa Ana Local Workforce Investment Area (LWIA) will establish programs to
prepare youth and unskilled adults for entry into the labor force and to afford
job training to those individuals facing serious barriers to employment. Every
effort will be made to provide services necessary for eligible individuals to
obtain productive employment.
In implementing WIA, all contractors in the Santa Ana LWIA will foster equal
opportunity and non-discrimination, as provided in State and Federal equal
opportunity and non-discrimination laws including, but not limited to:
. Title VI of the Civil Rights Act of 1964
. Title VII of the Civil Rights Act of 1964
. The Age Discrimination Act of 1975, as amended
. Section 503 of the Rehabilitation Act of 1973
. Section 504 of the Rehabilitation Act of 1973
. Title IX of the Education Amendments of 1972
. Section 188 of the Workforce Investment Act of 1998
In keeping with our commitment, no individual shall be excluded from
participation in, denied benefits of, subjected to discrimination under, or denied
employment, in the administration or of in connection with any WIA funded
program because of race, color, religion, sex, national origin, age, handicap, or
political affiliation or belief.
Participation in programs and activities financially assisted in whole or in part
under WIA shall be open to citizens and nationals of the United States, lawfully
admitted permanent resident aliens, lawfully admitted refugee, parolees, and
other individuals authorized by the Attorney General to work in the United
States.
No individual will be intimidated, threatened, coerced, or discriminated against
because of filing a complaint, furnishing information, or assisting or
participating in any manner in an investigation, compliance review, hearing, or
any other activity related to the administration of WIA.
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Administration responsibility for this Equal Opportunity/Affirmative Action
(EO/AA) Program is delegated to the Equal Employment Opportunity (EEO)
Officer for the Santa Ana Local Workforce Investment Area. Equal opportunity
and non-discrimination, however, will only be achieved through leadership and
implementation of a viable Affirmative Action Equal Opportunity Program.
Patricia Nunn, Executive Director
Santa Ana Local Workforce Investment Area
2. Civil Rights
No one applying for or enrolled in the Workforce Investment Act (WIA)
Programs may be discriminated against because of race, color, creed,'
handicap, national origin, sex, age, political affiliation, or beliefs.
This means that - for any of the characteristics listed above:
You may not be denied the opportunity to enroll in WIA.
No benefits or services may be denied you for discriminatory
reasons.
You may not be segregated or treated any differently from other
applicants or participants, while you are being registered.
interviewed, counseled or tested; or while you are working or
attending classes as part of the program.
You must be provided an equal chance to use all facilities
available in the program.
Fair employment practices must be provided to all staff with
regard to recruiting, hiring, transferring, promotions, training,
compensation, benefits, layoff, and termination.
You have the right to make a complaint if you feel you have been denied any
of the above opportunities. You cannot in any way be penalized for filing a
complaint. Your WIA sponsor has established a mechanism for handling
complaints or grievances. Your complaint must be filed within 180 days. All
complaints will be handled confidentially.
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3. Nondiscrimination Laws under WIA
Title VI of the Civil Riahts Act of 1964
Prohibits discrimination on the basis of race, color, national origin, or
religion.
The Aae Discrimination Act of 1975
Prohibits arbitrary discrimination against persons age 40-70.
The Rehabilitation Act of f 1973
Prohibits discrimination based on handicap.
Title IX of the Education Amendments of 1972
Prohibits discrimination in any education or training program or activity
receiving federal financial assistance.
OTHER CIVIL RIGHTS LAWS:
Title VII of the Civil Riahts Act of 1964
Prohibits discrimination in employment based on race, color, religion,
sex, or national origin in all terms and conditions of employment and
establishes the Equal Employment Opportunity Commission as the
administrative agency.
White House Executive Order No. 11246 as Amended bv Executive
Order No. 11375
Creates the office of Federal Contract Compliance and prohibits
discrimination based on race, color, sex, religion, or national origin.
Department of Labor Secretary's Order no. 4-73
Prohibits discrimination based on sex.
Eaual Pav Act of 1963
Prohibits pay differential solely because of sex.
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Emerqencv Emplovment Act of 1971
Prohibits discrimination based on race, creed, national origin, political
affiliation, or beliefs.
4. How to File Your Complaint
a. Put your complaint in writing.
b. Have it sworn to before a notary public, if possible.
c. Provides details that tell what happened, where it happened, and when
it happened.
d. Give the name and addresses of all persons who were present or who
had anything to do with the matter.
...Complaints on the basis of race, color, or national origin, age, sex,
religion, political affiliation or belief, retaliation and citizenship, must be
filed within 180 days of the alleged occurrence directly with:
Director
Civil Rights Center
U.S. Department of Labor, Room N-4123
200 Constitution Ave., NW
Washington, D.C. 20210
Complaints on the basis of handicap must be filed within 180 days of
the alleged occurrence. These complaints must be filed directly with
the WIA administrative entity. The WIA administrative entity shall issue
a written decision within 30 days of the filing of the complaint. If the
complaint is still unresolved, an appeal may be made to the Chief of
State Workforce Investment Division Office.
The Department of Labor, the Civil Service Commission, the Equal
Employment Opportunity Commission, and many other offices and agencies
are committed to assuring equal employment opportunities for all persons.
They will protect you.
A case may be taken to court if the other processes do not yield satisfactory
res u Its.
You may hire your own lawyer, or if you cannot afford one, the court may
appoint one for you.
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It is unlawful for an employer, union, or employment agency to punish you or
any witness for attempting to present the facts in a case.
YOUR CIVIL RIGHTS UNDER THE
WORKFORCE INVESTMENT ACT
Santa Ana Local Workforce Investment Area
1000 E. Santa Ana Blvd., Suite 200
Santa Ana, CA 92701
(714) 565-2600
B. Criminal Complaints
In accordance with the WIA (P.L. 105-200) and the implementing code of Federal
section 667.600.... Federal handling of criminal complaints and report of fraud, abuse
and other criminal activity. "All information and complaints involving fraud, abuse or
other criminal activity shall be reported directly and immediately to the City of Santa
Ana and the Secretary of Labor."
II. General Procedures for Handling Non-Criminal Violations of the Act
The following procedure is promulgated to meet the requirements of Title 20, of the Code of
Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section
181 (c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and
LWIA level for the receipt, investigation, hearing, and resolution of complaints by WIA
participants, subrecipients, applicants for participation, or financial assistance, labor unions,
community based organizations, or any other persons.
These procedures provide for resolution of non-criminal complaints arising from the
operation of the Santa Ana L WIA.
A complaint is defined here as a written expression by a party alleging a violation of the
Act, regulations promulgated under the Act, recipient grants, subagreements, or other
specific agreements under the Act, including terms and conditions of employment of such
participants in employment training programs. All complaints, amendments and
withdrawals shall be in writing. These procedures are intended to resolve matters which
concern policies, procedures or action(s) arising in connection with WIA programs operated
by each LWIA grant recipient and subrecipient under the Act.
These procedures shall not be construed as affecting any other available legal remedy
outside of the WIA complaint process (Le., disputes regarding terms and conditions of
employment of any employee who is not a participant), either separately or simultaneously,
that a person may wish to pursue in the resolution of a non-WIA complaint. Also, these
procedures do not restrict the LWiA grant recipient staff in carrying out informal discussion
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procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion
and resolution of any problems outside of and without resort to the formal complaint
procedure.
A. The following principles and rules apply to all complaints at all steps of the complaint
procedures:
1. All complaints must be made in writing within 180 days of the alleged
occurrence, except complaints alleging fraud or criminal activity.
2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or
discrimination. Good faith efforts shall be made to informally resolve the
complaint prior to the scheduled hearing. Complainants have the right to
withdraw their complaints (in writing) at any time prior to the hearing. A
complainant may amend his/her complaint to correct technical deficiencies but
not to add issues.
3. Complainants shall have the right to be represented at their own expense by
person(s) of their choosing at all levels of the complaint process.
4. Upon enrollment into employment or training, participants shall be provided
with a written description of these procedures, including notification of their
right to file complaints and instructions for filing.
An employer of participants, including private-for-profit employers of
participants, may use this or other complaint resolution procedures so long as
the participant is informed of the complaint resolution procedure they are to
follow and the time frames governing review of complaints are met.
A "participant", within the meaning of these procedures, is an individual who
receives employment-training services under a program funded by Santa Ana
LWIA. The Complaint Resolution Procedures contained herein (or the
alternative procedures which an employer may use) shall be available to
participants to resolve disputes regarding items and conditions of employment
of such participants in employment training programs. However. such
procedures shall not be used to resolve disputes reaardina terms and
conditions of emplovment of anv emplovee who is not a participant. as defined
herein.
5. If a complaint does not receive a decision at the LWIA grant recipient level
within 60 days of filing the complaint or receives an unsatisfactory decision,
the complainant then has a right to request a review of the complaint by the
Governor.
7
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"""
6. Complainants must initially file and exhaust LWIA grant recipient/hearing
procedures prior to appealing to the State except where the State determines
that the LWIA grant recipient's procedures are not in compliance with the
State's procedures.
111. Procedures for Handling Complaints at the lWIA level
A. Receipt of Complaints
Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA
administrative entities have the responsibility to conduct hearings and resolve
complaints made by individuals about the administration of programs in the LWIA.
"LWIA level" encompasses LWIA administrative entity and employers to which the
administrative entity has delegated the complaint resolution process. The following
comprise the guidelines for resolving issues arising in connection with WIA programs
operated by the Santa Ana LWIA including resolutions of complaints arising from
actions, such as audit disallowances or the imposition of sanctions taken by the
Governor with respect to audit findings, investigations or monitoring reports.
1. Form and Filing of Complaint
Official filing date of the complaint is the date the written complaint is received.
The filing of the complaint with the Santa Ana L WIA Equal Employment
Opportunity Officer shall be considered as a request for hearing and a
decision must be issued within 60 days. The complaint must be in writing and
must be signed and dated. The complaint should also contain the following
information:
a. Full name, telephone number, if any, and mailing address of the
complainant;
b. Full name, telephone number, and mailing address of the agency
involved (respondent);
c. Clear and concise statement of facts including dates constituting
alleged violation;
d. What provisions under the Act, regulations, grant or other agreements
under the Act, are believed to have been violated;
e. Remedy sought by the complainant; and
f. If the complainant is a private or public entity or corporation, and not a
natural person, the filing of the complaint must be duly authorized by
the governing body of such entity or corporation.
8
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The absence of any of the requested information shall not be a basis for
dismissing the complaint.
A copy of the complaint must be sent to the respondent and both parties
notified of the opportunity for an informal resolution. At each step of the
complaint process, the complainant must be notified in writing of the next
procedural step.
2. Informal Conference
Informal conferences will be utilized by the Santa Ana LWIA to resolve
complaints; however, such informal conferences shall not extend the time
within which a decision must be issued after receipt of a complaint. Attempts
at informal resolution will commence with two (2) weeks of the date of filing of
the complaint.
a. The EEO Officer will review the case and ascertain facts prior to the
conference so that appropriate resolution can take place at the time of
this meeting whenever possible.
b. Although the complaintant should be encouraged to attend this
conference, his/her failure to do so should not preclude his/her right to
request a hearing on the matter.
c. If mutually satisfactory resolution results and the Santa Ana LWIA
concurs, the EEO Officer will write a brief report for the file stating the
issues and resolution. The matter shall then be considered closed.
d. If resolution does not result, the complainant shall be provided the
necessary information and assistance to request a hearing if he/she so
desires.
3. Request for Hearing
a. As in the case of the complaint, the request for a hearing should be put
in writing and be filed in person or by mail. A governing board
resolution of authorization to appeal should also be submitted when
appropriate. The request should be filed with:
Lydia H. Morgan
EEO Officer
Santa Ana Local Workforce Investment Area
1000 E. Santa Ana Blvd., Suite 200
Santa Ana, CA 92701
9
.......
"""
b. A hearing will be scheduled by the EEO Officer within thirty (30) days of
the date of filing of the complaint.
4. Notice of Hearing
Upon receipt of the request for hearing, the complainant and the respondent
will be notified in writing of the hearing ten (10) calendar days prior to the date
of the hearing. The ten-day notice may be shortened with the written consent
of the parties. A decision will be issued by the Santa Ana LWIA within sixty
(60) days of the date of filing of the complaint.
The hearing notice shall be in writing and contain the following information:
a. The date of notice, name of the complainant, and the name of the party
against whom the complaint is filed.
b. The date, time, and place of hearing before an impartial hearing officer.
c. A statement(s) of the alleged violation(s)
d. Advise as to where information or assistance may be obtained, and the
name, address, and telephone number of the Santa Ana LWIA Equal
Employment Opportunities (EEO) Officer who can answer inquiries.
B. Conduct of Hearing
The hearing shall be conducted in an informal manner with strict rules of evidence
not applicable. Unnecessary technicalities should be avoided. It should provide the
flexibility to enable adjustment to the circumstances presented.
1. The hearing officer shall have complete independence to obtain facts and
make decisions. The hearing officer shall be in a position to render impartial
decisions and thus should not be subordinate to the Santa Ana LWIA or its
subrecipients. The hearing officer will be selected from a list of names on file
with the EEO Officer.
2. Full regard must be given to the requirements of due process to insure a fair
and impartial hearing.
3. The hearing office designated by the EEO Officer to function in a quasi-judicial
capacity should begin the hearing by summarizing the record and the issue
and should explain the manner in which the hearing will be conducted, making
sure that everyone involved understands the proceedings. Such explanations
should be adapted to the needs of the specific situation. The hearing officer
might take testimony under oath or affirmation to give some assurance of
veracity to the hearing.
10
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4. The burden of proof should be reasonable and flexible, dependent upon the
circumstances of the case involved. The hearing officer determines the order
of proof. Generally, the party making the complaint has the obligation of
establishing his or her case and should be examined first.
5. The party involved should have the right to be represented (at their own
expense) if he/he so desires. Other he/she is limited to his/her own abilities
and those of the hearing officer in obtaining testimony in the case.
6. It is important that the hearing officer obtain the fullest information for the
record. If the parties involved, or their representatives, do not know how to
ask the right or pertinent questions In pursuing their right to due process, it
shall be necessary for the hearing officer to step in to have all the materials
and relevant facts elicited.
7. The practice in informal hearings is generally not to apply strict rules of
evidence in obtaining facts. However, the quantity of evidence required to
support a decision on an issue should be sufficiently credible that the state (or
other appropriate agency), upon reviewing the decision, would conclude that
the decision is supported by substantial evidence.
8. The hearing officer should attempt to negotiate a resolution of the issue at any
time prior to the conclusion of the hearing.
9. Within ten (10) days of the conclusion of the hearing, the hearing officer will
issue a recommended decision to the LWIA for final determination. The
recommended decision shall be in writing and may be accepted, rejected or
modified by the Santa Ana Workforce Investment Board.
C. Issuance of Decision
Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall
issue a written decision to all parties by first class mail. The final decision shall
contain the following information:
1. The name of the parties involved.
2. A statement of the alleged violation and issues related to the alleged violation.
3. A statement of the facts.
4. The decision and the reasons for the decision.
5. A statement of corrective action, if any, to be taken.
6. Notice of the right to request, within ten (10) calendar days of receipt of the
decision, a review of the decision by the State Review Panel.
11
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D. Record of Hearing
An administrative file containing support documents on the complaint resolution
process hearing conducted will be retained by the Santa Ana LWIA. The purpose of
a record is to serve as substantiation of the process followed by the Santa Ana LWIA
on the resolution of the issues and the results. This information would then be
available for subsequent review in the event the matter is raised with the State. Such
records must be retained for a three-year period after the grant has been officially
closed out.
The Santa Ana LWIA's written decision will be included in the record. Evidence
received at the hearing, notes by the hearing officer, stenographer's notes and tape
recordings may also be used.
E. Establishment of Complaint Procedures
In accordance with Section 667.600, each employing agency including private-for-
profit employers of participants under the Act is required to establish a complaint
procedure for resolving matters relating to the terms and conditions of employment.
Employers may operate their own grievance system or may utilize the Santa Ana
LWIA's established procedures under Section 667.600. At a minimum these
procedures must include:
1. Written notice, upon enrollment into employment training services, of the scope
and availability of such procedures. Employer's grievance procedures shall be
set forth in a written document and must meet the regulation mandate that a
complaint will be resolved with sixty (60) days from the date the complaint was
filed. A copy of employer's grievance procedure shall be provided to each
participant upon enrollment in employment training.
2. Written notice, at the time the grievance is filed, of the procedures under which
the grievance will be processed.
3. Written notification of the disposition of the grievance and a written decision shall
be issued within thirty (30) days of the filing of the grievance unless a present and
long established grievance specifically provides other limits; and
4. Written notification of the participant's right to request a review of the employer's
decision by the Santa Ana LWIA and the State Review Panel in accordance with
Section 667.600.
12
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.....,
IV. Procedures for Handling Complaints at the State Level
Section 181(c) of the Act and the WIA regulations at 20 CFR, Section 667.600(d) requires
the Governor to establish a State Review process of complaints filed at the LWIA grant
recipient level and of complaints initially filed at the State level.
Appeals of decisions issued at the LWIA level including audit disallowances and sanctions
shall be reviewed by the State Review Panel. The State Review Panel shall review the
record established at the LWIA level and shall issue a decision based on the information
contained therein.
Complaints which may be initially filed at the State level will be heard by an independent
hearing officer designated by the State Workforce Investment Division (WID). The hearing
officer shall conduct a hearing and issue a recommended decision to the State Panel. The
recommended decision shall be in writing and may be accepted, rejected or modified by the
State Review Panel.
A. Form and Filing of Complaint.
1. Request for State Review of LWIA Level Decisions
On receipt of a complainant's request for review because of an unsatisfactory
decision, the State shall provide for an independent state review.
2. Filing of Requests for State Review
The State Review Panel shall review all LWIA level decisions when a request
for review is filed within 10 days of receipt of the adverse decision. Such
requests must be filed in writing with the Chief of the WID Office. The request
for review should contain the following information:
a. Full name, address, telephone number of the party requesting the
review
b. Full name, address, telephone number of the other party
c. A copy of the decision
d. Brief statement of reasons for review or the section of the LWIA
decision to be reviewed including regulatory and statutory citations
e. A statement of the relief sought.
13
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3. Complaintant Responsibility
It is the responsibility of the complainant to include in the request for review a
written statement setting forth the facts presented at the LWIA hearing which
support the requested relief.
The Chief, WID, shall mail a copy of the request for review to the other party
and to the LWIA. It shall be the responsibility of the LWIA to submit the
complete record including a typed record of the hearing to the Chief, WID,
within ten (10) days.
B. Conduct of Hearings.
1. Request for Hearing at the State Level
If no decision has been issued at the L WIA level or the State has determined
an audit disallowance or imposed sanctions, the complainant may request a
hearing. The hearing officer will then issue a recommended decision to the
State's Review Panel for final determination.
2. Filing for Request for Review
The request for a State hearing shall be filed within ten (10) days after LWIA
should have issued a decision or ten (10) days after the issuance of the audit
disallowance or sanction. The request shall be filed directly with the Chief of
the WID in writing and should include the following:
a. Full name, address, and telephone number of the party requesting the
review
b. Name, address, and telephone number of the LWIA
c. Copies of complaints made at LWIA level from which no decisions were
issued or sanctions imposed
d. A statement of basis for the request for hearing.
3. Evidentiary Hearing
Upon receipt of the request for a State level hearing, a hearing before a
designated hearing officer will be scheduled.
14
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~
The hearing will be recorded mechanically or by court reporter.
Both parties concerned will have the opportunity to present oral and written testimony
under oath, to call and question witnesses in support of his/her position, to present
oral and/or written arguments, to examine records and documents relevant to the
issue(s), and to be represented.
The hearing officer shall issue a written decision, which shall be forwarded to the
State Review Panel for final determination.
The State Review Panel may accept, reject or modify this recommendation. The
decision of the State Review Panel is final except for audit disallowances, which must
be approved by the Secretary of Labor.
C. State Review Panel
The State Review Panel will consist of a panel of three representatives from the
Employment Development Department: one from the Legal Offices, one from the
WID, and one from the Director's office. The panel will issue a written decision,
which will be sent to the appropriate parties within thirty (30) days of receipt of the
request for State review.
Decisions issued by this panel, under the authority of the Governor, are final.
D. Issuance of State Review Decision.
The State review will be limited to violations of the WI A, implementing WIA
regulations or the grant agreement. This review shall be limited to the record
established at the LWIA hearing.
v. Procedures for Handling Discrimination Complaints by Participants
A. Complaints on the basis of race, color, or national origin, age, sex, religion, political
affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within
180 days of the alleged occurrence.
1. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity
(EEO) Officer to determine jurisdiction and to make the complainant aware of
and provide assistance in filing a complaint in accordance with the Santa Ana
LWIA's procedure under Section II (A).
15
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...."
PROCEDURES FOR HANDLING NON-CRIMINAL COMPLAINTS
No later than 180
days of alleged
discrimination
Handling of complaints filed at L WIA level arising in
connection with WlA programs operated by LWlAs
.
.
.
.
Informal Resolution Process
.
.
.
.
Filing of Complaint / Request for Hearing
Notice of Hearing issued by L WIA
'-"
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to
Hearing Conducted
L WIA Decision within 60 days
.
.
.
.
Unsatisfactory Decision or L WIA Decision not
issued within 60 days
Within 10 days of
receipt of
unsatisfactory
decision or 10 days
from date LWIA
decision should have
been issued
.
.
.
.
Request for State Review I
Governor's Decision issued by State Review
Panel
'-"
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.
.
.
.
Ifno decision issued bv State Review Panel
.
.
.
.
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2. In cases where areas of authority overlap, it is the responsibility of the EEO
Officer to advise the complainant of the existence of State, Federal and other
proper action agencies, which may also have a bearing.
3. Complainants alleging discrimination under this part will be made aware of
their right to file directly with the Office of Civil Rights (OCR), U.S. Department
of Labor and applicable procedures.
4. Complainants must file their complaint directly with:
Lydia H. Morgan
EEO Officer
Santa Ana Local Workforce Investment Area
1000 E. Santa Ana Blvd., Suite 200
Santa Ana, Ca 92701
VI. Procedures for Handling Handicap Complaints by Participants
Complaints alleging discrimination on the basis of handicap will be filed and processed
under the Department of Labor regulations implementing Section 504 of the Rehabilitation
Act of 1973 at 29 Code of Federal Regulations Section 32.
1. Complaints must exhaust the Santa Ana LWIA's informal resolution
procedures before filing their complaint with OCR.
2. Complainants will be made aware of the 180 days requirement in which to file
his/her complaint.
A. Procedures at the LWIA Level
1. The complainant shall file his/her complaint directly with the Santa Ana LWIA.
Upon receipt of the complaint, the EEO Officer shall investigate and gather
information concerning the complaint.
2. An informal conference will be held with the parties concerned in an effort to
resolve the issue(s). The complainant has the right to be present and may be
represented during the conference.
3. The Santa Ana LWIA shall issue in writing its decision to the complainant no
later than thirty (30) days after the filing of the complaint.
16
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B. Procedures at the State Level
1. The complainant may appeal to the State if he/she is not satisfied with the
decision of the Santa Ana LWIA.
2. The Complainant must file his/her appeal as a request for review directly with
the Chief WID within ten (10) calendar days after the receipt of the Santa Ana
LWIA's decision.
3. The Chief-WID, shall issue a decision no later than thirty (30) calendar days
after receipt of the request for review.
4. After the complainant has received a decision or no decision has been,
received from the Director of Employment Development Department (on
behalf of the Governor), the complainant has the right to appeal his/her
complaint within thirty (30) calendar days to the Office of Civil Rights (OCR)
with the Department of Labor.
17
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>J
PROCEDURES FOR HANDLING HANDICAP COMPLAINTS
No later than 180
days of alleged
discrimination
Filed within 30
days of
LWIAlState
Decision or 90
days from date of
initial filing of
complaints
Filing of complaint on the basis
Of Handicap with L WIA
Informal Resolution
.
.
.
.
If no resolution reached
.
.
.
.
Request for Hearing
Notice of Hearing
Hearing Conducted
L WIA Decision
.
.
.
.
Unsatisfactory Decision or No Decision
.
.
.
.
State Review
Governor's Decision
Appeal to Assistant Secretary
Department of Labor
Day I
Day/45 Day
60 Days
'-'
....;
GLOSSARY OF WIA TERMS
AGE DISCRIMINATION ACT - A law passed by Congress in 1975 which prohibits discrimination
on the basis of age by any program or activity receiving Federal funds.
APPLICANT - An individual who applies to a subrecipient or contract for services provided under
WIA and who has no yet transitioned to the status of participant.
ASSESSMENT - Services designed to determine each participant's employability, aptitudes,
abilities and interests and to develop a plan to achieve the participant's employment and related
goals; also to identify the available employment and training activities appropriate for the
participant. Testing and counseling may also be used during the assessment process.
CHARGING PARTY (CPl. COMPLAINANT. GRIEVANT. OR AGGRIEVED PERSON - The
person who charges that he/she has been discriminated against under Department of Justice
nondiscrimination and civil rights regulations and/or guidelines.
DISCRIMINATION - In general, a failure to treat all equally, whether intentional or unintentional;
the effect of an action, policy or practice which selects an individual or class of persons to receive
unequal treatment.
ELIGIBLE NON-CITIZEN - Lawfully admitted permanent resident, aliens, lawfully admitted
refugees, and parolees and other individuals authorized by the Attorney General to work in the
United States.
EMPLOYER - An employer subject to the provisions of the Civil Rights Act of 1964, as amended,
including state and local governments and any Federal agency subject to the provisions of Section
717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by
Executive Order 11246, as amended.
GRIEVANCE - An allegation that something imposes an illegal obligation or burden or denies
some equitable or legal right, or causes injustice.
HANDICAPPED INDIVIDUAL - Any individual who has a physical or mental disability that
constitutes or results in a substantial handicap to employment.
18
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...,
INTAKE - Includes screening to determine eligibility; to select from eligible applicants those
individuals who are most in need and can benefit from program services; to complete procedural
requirements necessary to enroll an individual into the program and to refer those not enrolled to
other programs.
JOINT COMPLAINT - A complaint of employment discrimination covered by Title VII or the Equal
Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC
unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in
employment and other practices and pattern or practice "joint complaints" are normally investigated
by OCR.
JURISDICTION - Authority to investigate and resolve complaints against an institution subject to a
law or statute which has been assigned to OCR for enforcement, I.e., Title VI, Title IX, etc.
PARTICIPANT - Any applicant who has: (1) Been determined eligible for participation upon intake;
and (2) Who is receiving subsidized employment, training or services (except post-termination
services) funded under the Act, following intake, except for an individual who receives only
outreach and/or intake and assessment services.
19
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EXHIBIT D
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS. GRANTS. LOANS
and COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
1) No Federal appropriated funds have been paid or will be paid, by or on behalf
of the undersigned, to any person for influencing or attempting to influence
an officer or employee of an agency, a Member of Congress, an 9fficer or
employee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contracts, the making of any
Federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal,
amendment or modification of any Federal contract, grant, loan or
cooperative agreement.
2) If any funds other than Federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with this
Federal contract, grant, loan or cooperative agreement, the undersigned shall
complete and submit Standard Form - LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
3) The undersigned shall require that the language of this certification be
Included in the award documents for all subawards at all tiers (including
agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction imposed by
31 U.S.C. 1352. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more that $100,000 for
each such failure.
Hispanic Business Consultants
Grantee/Contractor Organization
Rapid Response
~-~~C-
Name of Certi~ . g fri~ial Si~ure
Eduardo Figueroa
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.....J
EXHIBIT E
Certification Reaardina Drua-Free Workolace Reauirements
The certification set out below is a material representation upon which reliance is placed by the
U.S. Department of Housing and Urban Development in awarding the grant. If it is later
determined that the contractor knowingly rendered a false certification, or otherwise violates the
requirements of the Drug-Free Workplace Act, the U.S. Department of Housing and Urban
Development, in addition to any other remedies available to the Federal Government, may take
action authorized under the Drug-Free Workplace Act.
CERTIFICATION
A. The contractor certifies that it will provide a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession or use of a controlled substance is prohibited
in the contractor's workplace and specifying the actions that will be taken against
employees for violation of such prohibition;
(b) Establishing a drug-free awareness program to inform employees about -
(1) The dangers of drug abuse in the workplace;
(2) The contractor's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance
program; and
(4) the penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;
(c) Making it a requirement that each employee who will be engaged in the
performance of the grant be given a copy of the statement required by paragraph
(a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a
condition of employment under the contract, the employee will -
(1) Abide by the terms of the statement; and
(2) Notify the employer of any criminal drug statute conviction for a violation
occurring in the workplace no later than five days after such conviction.
(e)
Notifying the U.S. Department of Housing and Urban Development within ten days
after receiving notice under subparagraph (d)(2) from an employee or otherwise
receiving actual notice of such conviction;
"""
'-II
Pg.2
(f) Taking one of the following actions, within 30 days of receiving notice under
subparagraph (d)(2). with respect to any employee who is so convicted -
(1) Taking appropriate personnel action against such an employee, up to and
including termination; or
(2) Requiring such employee to participate satisfactorily in a drug abuse
assistance or rehabilitation program approved for such purposes by a
Federal, State, or local health, law enforcement, or other appropriate
agency;
(g) Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs (a). (b). (c). (d). (e) and (f).
B. The contractor shall insert in the space provided on the attached "Place of Performance"
form the site(s) for the performance of work to be carried out with the grant funds
(including street address, city, county, state, and zip code). the contractor further
certifies that, if it is subsequently determined that additional sites will be used for the
performance of work under the contract, it shall notify the U.S. Department of Housing
and Urban Development immediately upon the decision to use such additional sites by
submitting a revised "Place of Performance" form.
Dated:
~lZ5/0'2-
,
cE.~(~~c- ~
j~l
Program perator
Eduardo Figueroa
'-
'-J
DIVISION OF EMPLOYMENT SERVICES
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS
Name:
Eduardo Figueroa
Name of contractor:
Hispanic Business Consultants
contractor Number:
A2D02-121
Date:
June 17, 2002
The contractor shall insert in the space provided below the site(s) expected
to be used for the performance of work under the contract convered by the
certification:
Place of Performance (include street address, city, county, state, zip code
for each site):
Santa Ana WORK Center
1000 E. Santa Ana Blvd
Santa Ana. CA 92701
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Exhibit G
Contractor agrees that in addition to those agreements and obligations specified in the
contract boiler plate, program narrative and statement of work, they will also adhere to
and obey the following provisions, assurances, and certifications.
ARTICLES
l) Contractor assures and certifies that where applicable, classroom training
instructors are properly credentialed, and training curriculums comply with State
Education Codes.
2) Contractor assures and certifies that any requested modification to this agreement
must be submitted in writing, explaining requested changes and rationale.
Contractor further assures that no modification will be implemented without prior
written approval from the Santa Ana Local Workforce Investment Area's Board.
3) Contractor assures and certifies that they are in good standing with the California
Secretary of State Franchise Tax Board and Internal Revenue Service. Any
change in corporate status or suspension shall be reported immediately to the
CITY.
4) Contractor agrees to cooperate with any monitoring, inspection, audit, or
investigations of activities related to this agreement as may be scheduled and
conducted by the Santa Ana Local Workforce Investment Area's Board.
5) Contractor assures and certifies that it will maintain and abide by the Santa Ana
Local Workforce Investment Area's Grievance Complaint Procedures in its
entirety as included here in Exhibit C. All contractor's publications and
advertisements shall include the phrase "An Equal Employment and Training
Opportunity Organization".
........'
'-'
Exhibit H
ADDITIONAL INSURED ENDORSEMENT
Insurance Company
This endorsement modifies such insurance as is afforded by the provisions of Policy
# relating to the following:
1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California
92701; its officers, employees, agents and volunteers are named as additional insureds
("additional insureds") with regard to liability and defense of suits arising from the
operations and uses performed by or on behalf of the named insured,
2. With respect to claims arising out of the operations and uses performed by
or on behalf of the named insured, such insurance as is afforded by this policy is
primary and is not additional to or contributing with any other insurance carried by or for
the benefit of the additional insureds.
3, This insurance applies separately to each insured against whom claim is
made or suit is brought except with respect to the company's limits of liability, The
inclusion of any person or organization as an insured shall not affect any right which
such person or organization would have as a claimant if not so included.
4. With respect to the additional insureds, this insurance shall not be
canceled, or materially reduced in coverage or limits except after thirty (30) days written
notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana,
California 92701.
(Completion of the following, including countersignature, is required to make this
endorsement effective.)
Effective
Policy #
Issued to
, this endorsement form as a part of
Named Insured
Countersigned by
Authorized Representative
11-02003 - ~
I DATE
10-24-2003
ACORD~ CERTIFICme OF LIABILITY INSURA~CE
PRODUCER THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION I
TUTTON INSURANCE SERVICES INC/PHS ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE
HOLDER. THIS CERTIFICATE DOES NOT AMEND. EXTEND OR
251107 P: (866)467-8730 F: (877) 905-0457 ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW.
P. O. BOX 33015
SAN ANTONIO TX 78265 INSURERS AFFORDING CGYERAGE
JNSURED INSURER A, Hart ford Casualtv Ins Co
EDUARDO FIGUEROA DBA HISPANIC BUSINESS INSURER B:
CONSULTANTS INSURER c: .
5 CORNS ILK INSURER 0: i
IRVINE CA 92614 INSURERE: :
COVERAGES
THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING I
ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAYBE ISSUED OR i
MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH
POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
.... TYPE OF INSURANCE POLICY NUMBER ~~f!J~~~g~E I ~k!fl,FfJl~:~IN LIMITS
LTR
~NERAL LIABiliTY 101/03/04 EACH OCCURRENCE .1,000, 000
A COMMERCIAL GENER~ABllITY 172 SBA AB6463 01/03/05 FIRE DAMAGE (Any one fir,,1 I $ 3 0 0 , 0 0 0
I CLAIMS MADE ~i OCCUR I MED EXP lAny one person) 1.10,000 I
~ Business Liab I PERSONAL & ADV INJUAY 1.1,000,000 I
- I GENERAL AGGREGATE 1.2,000,000 i
~'l AGGRE~Al ~~~~ API~lIEl PER: i PRODUCTS - COMP/OP AGG i .2 , 000 , 000 i.
POLICY JEer X LOC i
~TOMOBILE LIABILITY 01/03/05 COMBINED SINGLE LIMIT .1,nOO,000 I
A ANY AUTO 72 SBA AB6463 01/03/04 (Eeeccident! I
-
- ALL OWNED AUTOS BODilY INJUAY
(Per person) .
- SCHEDULEO AUTOS
~ HIRED AUTOS ,
I BODilY INJURY .
~ NON-OWNED AUTOS (Perl!lCcident)
- PROPERTY DAMAGE .
(Per accident)
~AGE L1ABlLrTY i AUTO ONLY - EA ACCIDENT .
R ANY AUTO OTHER THAN EA ACe .
, AUTO ONLY: AGG .
-: EXCESS LIABILITY ! I EACH OCCUARENCE I.
U OCCUR U CLAIMS MADE AGGREGATE .
.
H DEDUCTIBLE .
RETENTION . .
T WORKERS COMPENSATION AND I T,:(~JT ~r~~ I !~-
'I EMPLOYERS' UABILITY I E.L. EACH ACCIDENT c3 . -"On
0-
, E.L. DISEASE - EA EMPL.Ql'ft: ::'~t ~
I , .
E.L.. DISEASE - POLlCY L1~ $ .:::::<rT~C
OTHER W i-=j ~~'; ~:
-
i '1--. -,
rl'-<.~
D9CRIPTION OF OPERATJONSILOCATlONSNEHIClESlEXCLUSIONS ADDED BY ENDORSEMENT/SPECIAL PROVt610NS ~
I Those usual the Insured's Operations. ~~ c::-::'-,.
to , -" -
-<= =:::.,..
0
CERTIFICATE HOLDER
I X I ADDITIONAL INSURED; INSURER LfTIER"
A
CANCELLATION
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE
EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL
30 DAYS WRITTEN NOTICE 110 DAYS FOR NON-PAYMENT} TO THE CERTIFICATE
HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE NO
OBLIGATION OR LIABILITY OF ANY KIND UPON THE INSURER, ITS AGENTS OR
REPRESENTATIVES.
The City of Santa Anna
PO Box 1988
Santa Anna, CA 92702
i
ACORD 25-S (71971
.gOQ~.e:~~__
e ACORD CORPORATION 19BB
/(IQby
.
'-"
'....I
Hispanic Business Consultants
Corporate Training & Entrepreneurial Seminars
2510 N. Grand Ave., Santa Ana, CA 92705
Phone (714) 516-1111' Fax: (714) 516-1114 E-mailhbcnew@aol.com
htto:/ /www".eduardofigueroa.com
April 11,2003
To the City of Santa Ana
I, Eduardo Figueroa, am under a contractual relationship with the City of Santa Ana to provide
Business training in Spanish and understand the City's insurance requirements. While I have
the necessary insurance coverage plus the Additional Insured Endorsement, as required, my
insurance carrier Hartford Insurance willllQJ; agree to the cross-outs in the cancellation clause
(bottom right hand corner).
Therefore, I Eduardo Figueroa, on behalf of Hispanic Business Consultants, agree and promise
that I will personally provide the City with the required 30 days' notice should my coverage be
cancelled or materially reduced in amounts.
Very truly yours,
t: '. ~*-fQ<L)
=:d~i~~'~
Hispanic Business Consultants
Name of Contractor
(Enclosure)
APPROVED AS TO FORM
Lau~
Ocputy City Attorney
"\ACORDm CERTIFICAw: OF LIABILITY INSURAN.....,i ~I MT'
UODC 04-10-2003
"""""" THIS CERTIPICATE IS ISSUED AS A KATTD. OP INFORMATION
AlP INSURANCE SERVICES/SCIC ONLY AND CONFERS NO RJ:GBTS CPON THE CERT:IFI:CATE
HOLDER. THIS CERTIFICATE DOES NOT AMEND. EXTEND OR
251467 P.(866)467-8730 F I (877) 905-0457 AL'1'!:B. THE COVERAGE AFroRDED BY THE POLICIES BELOW.
P. O. BOX 33015
SAN ANTONIO TX 78265 INSURERS Al"l"ORDDfG COVERAGE
11l.llURED mllllEll ..Hartford Casualty Ins Co
EDUARDO FIGUEROA DBA HISPANIC BUSINESS DlSlJRER 91
CONSULTANTS II!lSlJRER CI
5 CORNSILK IlII5tlRERDI
IRVINE CA 92614 IlIIBURER B.
COVEllAGES
'IRE POLICIES OF INS1JllANCE LISTED BELOW HAVE BXBN ISSUED 'fO 'lHB INSURED NAMED ABOVE FOR THB POLICY PERIOD INDICATED. NOTWITBSTANDDT
ANY REQUIRKMENT. 'l'ERM OR CONDITION OF ANY CONTRACT OR OTHER OOCUMEN'l' WITH RESPECT TO WHICH THIS CBRTIFICATE MAY BE ISSUED OR
MAY PERTAIN. THB INSURANCE AFFORDED BY THE POLICIES DESCRIBED HERBIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF sue
POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BERN REDUCED BY P~D CLAIMS.
~~ TYPIi: OF nlSUllAIIICE POLlCY :I'1lIIB1:R. ~~cr DPRC'i'IVE ~;;Y EXPllUll'WJII LIKt1'S
~ERAL LIAI![LITY EACH OCctJJlJlEWCE ,1 000 000
A COl!llo!!\RCIAL G3NERlIoL LIABILITY 72 SBA AB6463 01/03/03 01/03/04 FIRE DAMJ.Gr: (Anv 0.... it . 300.000
I CUDlS IWlE OOOCCCll lIED BU M)' QIUI plIr.Qn) . 10 000
X Business Liab PBRSORkL ~ lIoDV ItIJOR.l .1. 000.000
- co.EiNERAL AlOCORBca7B ,2 000 000
~':L AGGRBn ~T Afi!tS PW I l'RODlJCTS _ COMP/OP At;(; ,2.000.000
POLICY X LOC
~OM08ILE LIABILITY CDMllrMBD SItilGLB LUll'! ,1,000,000
A I-- AM All'!O 72 SBA AB6463 01/03/03 01/03/04 (B4 ...=identj
f- ALL OWNED 1oUTO.9 BODn.! ltIJ1lRy
IPElr i"'r.onj ,
X SClIBDULBD AUTOS
RI:R.BD All'l'OS BODILY IlIJ1JRY
X I P.r ace~Rt) ,
= !I0N-OWllBD AtI'lOS
- PROPRR'I'Y DAMJoGB ,
IP..ra.ccidoilRtj
f L".mn All'!O ORLY - EA ACCIDlDl'I' ,
.un AUTO O'l'llBII. TIaN EA '"'0 .
AD'!O ORLh AGe .
'~~r~s LIAa.ILIT'Y EACII OCClJRREJICE ,
OCCUR Dcr.ADl.'i I!IAIlB AGGRBGA1'B ,
APPROVED PS FOF M ,
=i "COCT"", TO .
:R.S'l'BNTIOlI . .
wal.l:E:R.lI ~ElRllt,[,Im.-A"Jl ,fI 1t2 .41 .; I ~:rlt.TO- j 10711-
DS'LOrDS' LIMn.nr B.L. BACK ACCIDIm"I' ,
L;;fra~heedY B.L. DHISUE - SIt. IIIlIPLO ~
{"';tv Atla ney B.L. DlSBASE _ PO'Lrcy L ,.
0"",,
DElICllIPTIOJII Ol!' O(>gRA'fIO.II/LCcA'I'IOWll/VEHICLES/EXCLUSIOIIB ADDlilO BY EIlDORlluv:n'/IIPEClMo lmOVIBIOJIIS
Those usual to the Insured's Operations. The City of Santa Anna, it's
officers, employees, and agents are named as additional insured.
CERTIFICATE HOLDER 1 X I ADOITIOlIAL UJBUlI.W, llUJUUR LE'l'TEIU A CANCELLATION
IsHOULC ANY OF 'l'HE ABOVE DESCRIBED POLICIES BE C1\N~LLED 8EP'ORK THE
~XPIRATION OATE TBEREOF. THE ISSOING INSURER WILL ENDEAVOR TO MAIL
30 Da!B WRIT'rBN NOTICE (10 DAn FOR NON-E'AYImNT) TO THE CBUIFICA'T
The City of Santa Anna ~OLDBR NAMED TO TBE LEFT. BO":I' l"AiLURB: '1'0 DO SO SHALL IMPOSE NO
pBLIGATION OR LIABILITY OF ANY XINO UPON THE INSURER, ITS AGENTS 0
PO Box 19B8 IasPR1!:SENTA'I'IVB:8 .
Santa Anna, CA 92702
~~ k
t ~--"'L-
ACORD 25-6 (1/91)
CI ACORD CORpORATION 1988
,04 ~ 10/2003 05: 16PM
THE HARTFORD
YAUr. z ur ~
- "
'""
'"oJ
THIS ENDORSEMENT CHANGES THE POUCY. PLEASE READ IT CAREFULLY.
ADDITIONAL INSURED - DESIGNATED PERSON OR
ORGANIZATION
This endorsement modifies insurance provided under the following:
EDUARDO FIGUEROA DBA HISPANIC BUSINESS CONSULTANTS
72 SBA AB8463
BUSINESS UABILITY COVERAGE FORM
C. Who is an insured in the BUSINESS
LIABILITY COVERAGE FORM is
amended to include as an insured the
person or organization shown in the
Declarations but only with respect to
liability arisinR out of the operations of the
nemeet Insured.
For losses covered under the BUSINESS
LIABILITY COVERAGE of this policy this
insurance is primary to other valid and
collective insurance which is available to
the person or organization shown in the
Declarations as an Additional Insured.
The City of Senta Anne, it's officers,
Employ..s end agents
PO Box 1988
Senta Anne, CA 02702
APPROVED AS 10 FORM
Lau <l Sheedy
D'-"lllt' e'
-t- \" 11v ''\ttorney
Form SS 04 49 06 93 Printed in U.S,A. (NS)
Copyright, Hartford Fire Insurance Compsny, 1995
I. At;ORD CERTIFICA\.i OF LIABILITY INSURA.JCE I DATE (MMJDDIYYYY)
'" 04/10/2003
PRODUC'R (949)261-5335 FAX (949)261-1911 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION
Tutton Insurance Services, Inc. ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE
HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR
2913 S. Pullman St. ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW.
Santa Ana, CA 92705
INSURERS AFFORDING COVERAGE NAIC#
INSURED Eduardo Figueroa INSURER A: The Hartford Insurance Group
DBA: Hispanic Business Consul tants I z. / INSURER B: State Compo Insurance Fund
5 Cornsilk fJ ~{)OV INSURER C
Irvine, CA 92614 4~V:x>3'" 01--0 INSURER D:
INSURER E
COVERAGES
THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDIN
ANY REQUIREMENT. TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR
MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH
POLICIES AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS
LTR NSR TYPE OF INSURANCE POLICY NUMBER DATE "/MMJDDNYl DATE MM/DDNY LIMITS
GENERAL LIABILITY 72-SBA-AB6463 OX 01/03/2003 01/03/2004 EACH OCCURRENCE . 1,000,000
ex COMMERCIAL GENERAL LIABILITY PRE~~~S Ea occurence\ . 300 ,000
I CLAIMS MADE 00 OCCUR MED EXP (Anyone person) . 10 , 000
A PERSONAL & ADV INJURY . 1,000,000
f-- GENERAL AGGREGATE . 2,000,000
f--
GEN'L AGGREGATE LIMIT APPLIES PER PRODUCTS - COMP/OP AGG . 2,000,000
"I rnPRO- n
POLICY JEer LOC
AUTOMOBILE LIABILITY 72-SBA-AB6463 OX 01/03/2003 01/03/2004 COMBINED SINGLE LIMIT
- (Eaaccidenl) . 1,000,001
ANY AUTO
- ALL OYINED AUTOS
BODILY INJURY
- (Per person) .
SCHEDULED AUTOS
A X HIRED AUTOS
BODILY INJURY
X (Per accident) .
NON-OWNED AUTOS
-'-'--
APPROVI D AS TO ORM PROPERTY DAMAGE .
(Peraccidenl)
GARAGE LIABILITY fJ3t^ - JL AUTO ONLY - EA ACCIDENT .
=1 ANY AUTO EAACC .
OTHER THAN
0;- :_-. ~"eerl ( AUTO ONLY AGG .
EXCESSIUMBRELLA LIABILITY Deputy City Attorney EACH OCCURRENCE .
b OCCUR D CLAIMS MADE AGGREGATE .
.
R DEDUCTIBLE .
RETENTION . .
WORKERS COMPENSATION AND 1679144-03 02/01/2003 02/01/2004 X 1T'O);.;" L:;';,~s I IUER'-
EMPLOYERS' LIABILITY EL EACH ACCIDENT . 1,000,000
B ANY PROPRIETOR/PARTNERlEXECUTIVE
OFFICER/MEMBER EXCLUDED? E.l. DISEASE. EA EMPLOYEE $ I, 000 , oOii
~~~~i1tS~~bOv~~~b~~s belOW E,LD!SEjl.SE-P~..idMlT ~ 1:,000,000-'
OTHER .... ~:....
- ::>::-<
;a ::Ol'T10
1'T1=<:..."
DESCRIPTION OF OPERATIONS I LOCATIONS / VEHICLES f EXCLUSIONS ADDEO BY ENDORSEMENT / SPECIAL PROVISIONS -:- ,.,;VJV)
ertificate holders are named as additional insureds, endorsement to be issued by carrler. <n~
020
his insurance is primary per policy form. "0 ""3;-,
10 day notice wil be sent in the event of cancellation for non-payment of premium. CJ:u:l>
W c:l>
- zz
en =i>
The City of Santa Ana, its officers,
employees & agents
P.O. Box 1988
Santa Ana, CA 92702
CANCELLATION
SHOULD ANY OF THE ABOVE OESCRIBED POLICIES BE CANCELLED BEFORE THE
EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL
..!.3.0..... DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT,
BUT FAILURE TO MAIL SUCH NOTICE SHALL IMPOSE NO OBLIGATION OR LIABILITY
CERTIFICATE HOLDER
OF ANY KIND UPON THE INSURER, ITS AGENTS OR REPRESENTATIVES.
AUTHORIZED REPRESENTATIVE
Stanle
Tutton/CLAUDI
(J/~
ACORD 25 (2001/08)
@ACORDCORPORATION 1988
O~/1?/2093 05:16PM
,
THE HARTFORD
PAGE 2
OF 2
""
"""
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.
ADDITIONAL INSURED - DESIGNATED PERSON OR
ORGANIZATION
This endorsement modifies insurance provided under the following:
EDUARDO FIGUEROA DBA HISPANIC BUSINESS CONSULTANTS
72 SBA AB6463
BUSINESS LIABILITY COVERAGE FORM
C. Who is an insured in the BUSINESS
LIABILITY COVERAGE FORM is
amended to include as an insured the
person or organization shown in the
Declarations but only with respect to
liability arising out of the operations of the
named insured.
For losses covered under the BUSINESS
LIABILITY COVERAGE of this policy this
insurance is primary to other valid and
collective insurance which is available to
the person or organization shown in the
Declarations as an Additional Insured,
The City of Santa Anna, it's officers,
Employees and agents
PO Box 1988
Santa Anna, CA 92702
ED AS TO FORM
APPROV
'lllr" Sheedy
" r' AU rney
Depu\Y ,,,t\y
Form 55 04490593 Printed in U.S.A. (NS)
Copyright, Hartford Fire Insurance Company, 1993
PACE 2/2 * RCVD AT 4110/2D03 2:15:27 PM [paclnc Daylight Time) * SVR:f2. CNIS:22. CSID:THE HARTFORD. DURATION (mm-ss):D1.14
, I
ACORD CERTIFIC.\.;E OF LIABILITY INSUR...,JJCE DATE (MM/DOfYYYY)
'" 04/10/2003
PRODUCER (949)261-5335 FAX (949)261-1911 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION
Tutton Insurance Services, Inc. ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE
HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR
2913 S. Pullman St. ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW.
Santa Ana, CA 92705 INSURERS AFFORDING COVERAGE
NAIC#
INSURED Eduardo Figueroa INSURER A: The Hartford Insurance Group
DBA: Hispanic Business Consultants 1~1 INSURER B: State Compo Insurance Fund
5 Cornsilk {)()2-- INSURER c:
Irvine, CA 92614 ~~~3- 01,0 INSURER 0
INSURER E
COVERAGES
THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSUREO NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDIN
ANY REQUIREMENT. TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR
MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH
POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
I'LrR t'NSR TYPE OF INSURANCE POLICY NUMBER DATE MMfDDIY'f'''" DATE /MMIDDJYY LIMITS
GENERAL LIABILITY 72-SBA-AB6463 OX 01/03/2003 01/03/2004 EACH OCCURRENCE . 1,000,000
X COMMERCIAL GENERAL LIABILITY ~REMISE~ YE~~~~~nce\ . 300,000
I CLAIMS MADE [K] OCCUR MED EXP (Anyone person) . 10,000
A PERSONAL & ADV INJURY . 1,000,000
GENERAL AGGREGATE . 2,000,000
GEN'l AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP/OP AGG . 2,000,000
~ POLICY n ~~8T n Loe
AUTOMOBILE LIABILITY 72-SBA-AB6463 OX 01/03/2003 01/03/2004 COMBINED SINGLE LIMIT
- AAY AUTO (Eaaccidenl) .
1,000,000
- ALL OWNED AUTOS
BODILY INJURY
- (Per person) .
SCHEDULED AUTOS
A X HIRED AUTOS
BODilY INJURY
X (Per accident) .
NON-OWNED AUTOS
- ORM
f- APPROV! D AS TO PROPERTY DAMAGE .
(Peraccidenl)
GARAGE LIABILITY ';I3t, , . AUTO ONLY - EA ACCIDENT .
==J ANY AUTO OTHER THAN EAACC .
T.:;;,-, ~hee / AUTO ONLY: AGG .
EXCESSJUMBRELLA LIABILITY Deputy City Attorney EACH OCCURRENCE .
~ OCCUR o CLAIMS MAOE AGGREGATE .
.
H OEDUCTlBLE .
RETENTION . .
WORKERS COMPENSATION AND 1679144-03 02/01/2003 02/01/2004 X I To~,;"l~MI~S I IUER-
EMPLOYERS' LIABILITY E.L. EACH ACCIDENT . 1,000,000
B ANY PROPRIETOR/PARTNER/EXECUTIVE
OFFICER/MEMBER EXCLUDED? E.L.DISEASE-EA~OYEE $ 1,000,000
~~~tl~~5r.Jf.;'v~s16~.s below E.L_ DISE.-\SE - PO -b:MlT "'-'-'-l:iOOO, 000-
OTHER ~ ?6-i
2t; :>:-<
:0 :OfTlO
- fTl"=!--.,
DESCRIPTION OF OPERA TlONS I LOCATIONS 1 VEHICLES f EXCLUSIONS ADDED BY ENDORSEMENT f SPECIAL PROVISIONS - /T1 C/)
~ertificate holders are named as additional insureds, endorsement to be issued by carrier. <C"'))':>.
"0 02:
~his insurance is primary per policy form. 83:;ti
'10 day notice wil be sent in the event of cancellation for non-payment of premium. :u
W c::<>
.- Z2:
Ul ::;:<>
-
The City of Santa Ana, its officers,
employees & agents
P.O. Box 1988
Santa Ana, CA 92702
CANCELLATION
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE
EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL
....!l..(L DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT,
BUT FAILURE TO MAIL SUCH NOTICE SHALL IMPOSE NO OBLIGATION OR LIABILITY
CERTIFICATE HOLDER
OF ANY KINO UPON THE INSURER, ITS AGENTS OR REPRESENTATIVES.
AUTHORIZED REPRESENTATIVE
Stanle
Tutton/CLAUDI
0'~
ACORD 25 (2001/08)
@ACORDCORPORATlON 1988
.04'/10/2D03 05: 16PM
THE HARTFORD
PAGE 2 OF 2
"""
"'"
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.
ADDITIONAL INSURED - DESIGNATED PERSON OR
ORGANIZATION
This endorsement modifies insurance provided under the following:
EDUARDO FIGUEROA DBA HISPANIC BUSINESS CONSULTANTS
72 SBA AB6463
BUSINESS LIABILITY COVERAGE FORM
C. Who is an insured in the BUSINESS
LIABILITY COVERAGE FORM is
amended to include as an insured the
person or organization shown in the
Declarations but only with respect to
liability arising out of the operations of the
named Insured.
For losses covered under the BUSINESS
LIABILITY COVERAGE of this policy this
insurance is primary to other valid and
collective insurance which is available to
the person or organization shown in the
Declarations as an Additional Insured.
The City of Santa Anna, it's officers,
Employees and agents
PO Box 1988
Santa Anna, CA 92702
"ED AS TO FORM
APPRO'
~
auCilY At! rney
OopulY
Form SS 04 49 05 93 Printed in U.SA (NS)
Copyright. Hartford Fire Insurance Company, 1993
PAGE 212. RCVD AT 4/10/2003 2:15:27 PM [pacific Daylight Time]. SVR:/2. DNIS:22. CSID:THE HARTFORD" DURATION (mm-ss):01-14
--
'....I
\c BlJ~ii
,,,{\ 1',
,,~~..., ~:j
.
C'O'''i__;
Hispanic Business Consultants
Corporate Training & Entrepreneurial Seminars
2510 N. Grand Ave., Santa Ana, CA 92705
Phone (714) 516-1111' Fax: (714) 516-1114 E.mai1 hbcnew@aol.com
hUo:l/www.eduardofigueroa.com
October 18, 2002
To the City of Santa Ana
I, Eduardo Figueroa, am under a contractual relationship with the City of Santa Ana to provide
Business training in Spanish and understand the City's insurance requirements. While I have
the necessary insurance coverage plus the Additional Insured Endorsement, as required, my
insurance carrier Hartford Insurance will not agree to the cross-outs in the cancellation clause
(bottom right hand comer).
Therefore, I Eduardo Figueroa, on behalf of Hispanic Business Consultants, agree and promise
that I will personally provide the City with the required 30 days' notice should my coverage be
cancelled or materially reduced in amounts.
Very truly yours,
. :..----
Eduardo Fi roa
HisDanic Business Consultants
Name of Contractor
(Enclosure)
aye., AS TO FORM
AiJ:;~
(la cedY.
Deputy City Attorney
""
"""
ACORD~ CERTIFICATE OF LIABILITY INSURANCE S~I DATE
, DaDC 09-17-2002
PRODUCER THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION
ASSOCIATED PRODUCERS INS./SCIC ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE
HOLDER. THIS CERTIFICATE DOES NOT AMEND. EXTEND OR
180756 P: (800) 457-2379 F: (210) 732-3593 ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW.
P. O. BOX 33015 INSURERS AFFORDING COVERAGE
SAN ANTONIO TX 78265
INSURED INSURERA:Hartford Casualtv Ins Co
EDUARDO FIGUEROA DBA HIRP1>.NIC BUSINESS INSURER B:
CO=TANTS "\" ~ -
INSURER c:
5 NSILK INSURER 0:
IRVINE CA 92614 INSURER E:
THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING
ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR
MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH
POliCIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
"IfR TYPE OF INSURANCE POLICY NUMBER ':P.HCY EFFECTIVE ~lfCy EXPIRATION lIMITS
TR T TE
~NERAl llABll.lTY EACH OCCURRENCE .1,000,000
A I- 3MMERCIAL GENERAL LIABILITY 72 SBA AA1213 01/03/02 01/03/03 FIRE DAMAGE (Anyone firel . 300 000
I- CLAIMS MADE 0 OCCUR MED EXP (Anyone personl . 10 000
X Business Liab PERSONAL & ADV INJURY .1,000,000
I- GENERAL AGGREGATE .2,000 000
rl'L AGG~EnE LIMIT APMS PER: PRODUCTS - COMP/OP AGG .2 000 000
POLICY ~~;. X LOC
~UTOMOBIlE LIABilITY 01/03/02 01/03/03 COMBINED SINGLE LIMIT .1,000,000
A f--- ANY AUTO 72 SBA AA1213 (Eaaccident)
I- ALL OWNED AUTOS BODILY INJURY
.
I- SCHEDULED AUTOS IPerperson)
1'- HIRED AUTOS BODILY INJURY
.
1'- NON-OWNEO AUTOS (Peracciclent)
- PROPERTY DAMAGE .
(PeraccidenU
=rOE '/A'HIH AUTO ONLY - EA ACCIDENT .
ANY AUTO OTHER THAN EAACC $
AUTO ONLY: AGG .
jE~S LIABILITY EACH OCCURRENCE .
OCCUR 0 CLAIMS MADE AGGREGATE .
APPROVE[ AS TO F aRM .
R ~EDUCTlBLE . glj) ~j .
RETENTION . $
WORKERS COMPENSA TION AND ~'.i/7' YlV I TVX~JTA~!!;, I IOJ~-
EMPLOYERS' UABILlTY laura Sheedy tltey
E.L. EACH ACCIDENT .
Deputy CitY I E.L. DISEASE - EA EMPLOYEE $
E.L. DISEASE - POLICY LIMIT .
OTHER
DESCRIPTION OF OPERA TIONSIlOCA TIONS/VEHlClESlEXClUSIONS ADDED BY ENDORSEMENT/SPECIAL PROVISIONS
The City of Santa Ana, it's officers, employees, agents are named additional
insured as their interest may appear with respect to liability.
CERTIFICATE HOLDER I X I ADDITIONAL INSURED: INSURER LETTER: A CANCELLATION
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE
EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL
30 DAYS WRITTEN NOTICE 110 DAYS FOR NON-PAYMENT) TO THE CERTIFICATE
The City of Santa Ana HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE NO
OBLIGATION OR LIABILITY OF ANY KIND UPON THE INSURER, ITS AGENTS OR
20 Civic Center Plaza REPRESENT A TIVES.
Santa Ana, CA 92701
~RlZEDREPRESENT~
l~~
ACORD 25-S 17/971
. ACORD CORPORATION 19BB
COVERAGES
THE X
HARTFORD
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.
"'"
..[-
ADDITIONAL INSURED. DESIGNATED PERSON OR
ORGANIZATION
This endorsement modifies insurance provided under the following: 72 SBA AA 1213
EDUARDO FIGUEROA DBA HISPANIC BUSINESS CONSULTANTS
Who is an insured in the BUSINESS LIABILITY or losses covered under the BUSINESS
C. Who is an insured in the BUSINESS LIABILITY
COVERAGE FORM is amended to include as an
insured the person or organization shown in the
Declarations but only with respect to liability arising
out of the operations of the named insured.
For losses covered under the BUSINESS
LIABILITY COVERAGE of this policy this insurance is
primarily to other valid and collective insurance which is
available to the person or organization
shown in the Declarations as an Additional Insured.
The City of Santa Ana
20 Civic Center Plaza
Santa Ana, CA 92701
APPROVED AS TO FORM
"/
Form SS 04490593 Printed in U.S.A. (NS)
Copyright, Hartford Fire Insurance Company, 1993